Gary K. Dorfman

THRYVE WEALTH MANAGEMENT

SANTA BARBARA, CA 93101

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CRD#: 1418742

Professional summary

Gary Keith Dorfman is a registered financial advisor currently at THRYVE WEALTH MANAGEMENT located in Santa Barbara, California.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Gary has worked at 19 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Keith Dorfman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 16, 2025 - Present

THRYVE WEALTH MANAGEMENT

Office #1: 523 Chapala Street Unit 2, Santa Barbara, CA 93101

RIA

CRD#: 335920

SANTA BARBARA, CA

Past

December 13, 2024 - October 10, 2025

STRIVE ASSET MANAGEMENT

RIA

CRD#: 322039

Santa Barbara, CA

Past

January 14, 2020 - November 5, 2024

ONE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 114861

WESTLAKE VILLAGE, CA

Past

October 31, 2013 - January 14, 2020

BEACON POINTE ADVISORS, LLC

RIA

CRD#: 119290

SANTA BARBARA, CA

Past

October 2, 2013 - January 14, 2020

BEACON POINTE WEALTH ADVISORS, LLC

RIA

CRD#: 151328

SANTA BARBARA, CA

Past

August 20, 2009 - December 31, 2013

PACIFIC POINTE ADVISORS LLC

RIA

CRD#: 149892

SANTA BARBARA, CA

Past

September 22, 2008 - September 23, 2009

MANCHESTER CAPITAL MANAGEMENT LLC

RIA

CRD#: 110003

MANCHESTER, VT

Past

July 20, 2007 - September 23, 2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

June 10, 2005 - August 8, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LOS ANGELES, CA

Past

June 10, 2005 - August 8, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 30, 2002 - June 17, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 30, 2002 - June 17, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

April 5, 1999 - July 25, 2000

KA ASSOCIATES, LLC

CRD#: 32029

LOS ANGELES, CA

Past

May 22, 1998 - March 23, 1999

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

October 1, 1997 - March 31, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

October 9, 1996 - October 1, 1997

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

SAN FRANCISCO, CA

Past

August 16, 1991 - September 26, 1996

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

April 6, 1989 - July 29, 1991

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

April 18, 1986 - April 12, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Past

December 23, 1985 - March 14, 1986

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THRYVE WEALTH MANAGEMENT

STRIVE WEALTH MANAGEMENT, LLC | THRYVE WEALTH MANAGEMENT LLC | THRYVE WEALTH MANAGEMENT

CRD#: 335920 / SEC#: 801-132749

RIA

Registered Investment Advisory firm - (5/9/2025 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/16/2025)

IAR

Texas
(10/16/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 1/7/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/21/1985

General Securities Representative Examination

Current Firm

THRYVE WEALTH MANAGEMENT

STRIVE WEALTH MANAGEMENT, LLC | THRYVE WEALTH MANAGEMENT LLC | THRYVE WEALTH MANAGEMENT

CRD#: 335920 / SEC#: 801-132749

RIA

Registered Investment Advisory firm - (5/9/2025 Approved)

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Contact information

Main Address

909 Lake Carolyn Pkwy Suite 330, Irving, TX 75039

Mailing Address

Phone number

(805) 451-2909

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THRYVE WEALTH MANAGEMENT - FORM ADV PART 2A BROCHURE (10/17/2025)

Regulatory assets under management

Total Number of Accounts	229
AUM (Assets Under Management)	$ 179,089,530

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Gary K. Dorfman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Keith Dorfman's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRIVE ASSET MANAGEMENT

ONE CAPITAL MANAGEMENT, LLC

BEACON POINTE ADVISORS, LLC

BEACON POINTE WEALTH ADVISORS, LLC

PACIFIC POINTE ADVISORS LLC

MANCHESTER CAPITAL MANAGEMENT LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

KA ASSOCIATES, LLC

ABN AMRO SECURITIES LLC

BANCAMERICA SECURITIES, INC.

ROBERTSON, STEPHENS & COMPANY LLC

SANFORD C. BERNSTEIN & CO., INC.

KIDDER, PEABODY & CO. INCORPORATED

MORGAN STANLEY DW INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

THRYVE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2008

Series 63

Date: 7/15/1986

Series 31

Date: 1/7/1994

Series 7

Date: 12/21/1985

Current Firm

THRYVE WEALTH MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRYVE WEALTH MANAGEMENT

TRUST BUT VERIFY

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